You need to be ready.
Canadian financial institutions - including banks, insurance companies and securities/investment firms - face an increasingly complex regulatory web. Regulators in Canada and globally are imposing increased pressure on financial institutions to assess, monitor and mitigate regulatory and operational risks.
In addition to staying compliant, today’s financial institutions need to keep up with new regulations, deal with new issues - including those created by social media and emerging technologies - and manage the human resources and technological requirements to get the job done. The speed of change is rapid and the demands are increasing.
Back for its 10th year! This intensive OsgoodePD Certificate program was developed by a select group of industry experts to provide you with a comprehensive understanding of compliance requirements in financial services, along with practical strategies to meet them.
Over 5 modules, you will explore the intersection of compliance and enterprise risk management to get best practices for effectively managing both risk and compliance as part of your organization’s essential line of defence. You will emerge from this program equipped with the most up-to-date knowledge, strategies and tactics you need to develop, implement or re-energize a state-of-the-art compliance program within your organization.
This program will cover:
NEW! ONLINE PRIMERS – COMPLIANCE FOUNDATIONS
These primers focus on core concepts for those who may be new to compliance or those seeking a succinct refresher. All primers are included with the Certificate or the Fundamentals of Compliance (Module 1). View online anytime per dates below. Mobile‑friendly. To obtain your Certificate, all five primers must be viewed:
Fees include online attendance, online primers, electronic materials, and 120-day access to the program archive. Please inquire about group discounts and financial assistance.
Included in your (paid) registration for the Certificate (5 Modules) or Fundamentals of Compliance (Module 1), is access to view the five online primers for this program as follows: 1. Introduction to Compliance Primer (New! Available on January 15, 2021) 2. Regulatory Landscape Primer (Available immediately on-demand) 3. Privacy, AML & Outsourcing Primer (Available immediately on-demand) 4. Behavioural Ethics & Compliance Primer (New! Available on January 15, 2021) 5. Technology & Industry Disruptors Primer (Available immediately on-demand). To obtain your Certificate, all five Online Primers must be viewed.
In the event of registration cancellation and if one or more Online Primers has been viewed, an Online Primer session fee will apply of $95 + HST per session.
Please follow the instructions below in order to access the online primer prior to the start of the program:
STEP 1. Go to www.osgoodepd.ca and click on CLE Login on the top right of the page.
STEP 2. Enter your login credentials under "Returning Customer".
NOTE: If this is your first time logging into OsgoodePD's platform to view an online program, your username is your email and your password is your last name with the first letter capitalized, as shown on this confirmation.
STEP 3. From your "Order History", select "View Program" and a new screen will open displaying the videos for the primers.
If you have any technical concerns or issues, please call 416.736.5737 or email email@example.com.
We will make every effort to present the certificate program as advertised, but it may be necessary to change the dates, location, speakers or content with little or no notice. In the event of program cancellation, York University and Osgoode Hall Law School’s liability is limited to reimbursement of paid fees.
Substitution of registrants is permitted at any time. If you are unable to find a substitute, a full refund is available if a cancellation request is received in writing 21 days prior to the program date. If a cancellation request is made with less than 21 days notice, a $150 administration fee will apply. No other refund is available.
In the event you experience technical difficulties, please contact firstname.lastname@example.org for assistance.
Have a question? Read our FAQs.
Online Primers – LSO (ON): 4h 40m (4h 30m Substantive; 10m Professionalism).
Module One – LSO (ON): 7h (6h Substantive; 1h Professionalism).
Certificate – All Modules (includes Online Primers) – LSO (ON): 40h 10m (35h 5m Substantive; 3h 35m Professionalism; 1h 30m EDI).
Questions on program registration?
Please contact the Registration Team at email@example.com
Questions on the program content?
Please contact the Program Lawyer:
Alexandra Karacsony AKaracsony@osgoode.yorku.ca
January 28*, February 18, March 4 & 25, April 15, 2021
8:30 a.m. - 4:30 p.m. EST/EDT
Online - Live, Interactive
Module 1: Fundamentals of Compliance
Available as 1-Day program with an option to upgrade to the Certificate Program
Register for Module 1
Online - Live, interactive
Certificate: $4,595 + HST
Newly Licensed (2017-present): $2,297.50 + HST
Module One: $895 + HST
Newly Licensed (2017-present): $447.50 + HST
“Excellent. Clear, high-quality presentations and you [can tell] that the speakers enjoy being there. It also [includes] hands-on application and is full of information about the ‘real-life’ in compliance.”
–Diane Hachem, Regulatory Investigator, Law Society of Ontario
“The quality of the whole program was excellent. It covered a broad variety of relevant and up-to-date subjects. I was really impressed by the instructors’ expertise and wealth of experience and [the] real-life experiences that enriched the effectiveness of the training. Thank you very much!”
– Patricia Pacanchique, Director, Pension Policy – OMERS Administration Corporation
“Great to get information on the new technology implications (crypto and social media). Real-life examples were very helpful.”
– Helen D.K. Friedman, Partner-Risk Management, Miller Thomson LLP
Module One: Fundamentals of Compliance
“As someone new to the “formal” world of compliance, the discussions around risk management approaches and the linkages to effective compliance testing/planning was of particular interest to me. The content was very relevant and well-presented – good materials for takeaways.”
– Jeff Niehaus, VP, People & Talent Development, eTracks Tire Management Systems
“As a non-compliance, non-risk executive looking to learn more about the subject matter, the course has been wonderful. The presenters are so proficient in their area of expertise that they make complicated issues seem simple.”
– David Campbell, Caledon Trust
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